Allan A. Pries
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Allan A Pries, who also goes by Allan Aita Pries, was a registered financial professional .
Allan is a previously registered financial professional and started their career in finance in 2012. Allan had worked at 2 firms and has passed the Series 65, Series 66, Series 7 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 26, 2017 - March 23, 2020
AZIMUT GENESIS ADVISORS
May 15, 2012 - May 31, 2013
RBC CAPITAL MARKETS, LLC
May 14, 2012 - May 31, 2013
RBC CAPITAL MARKETS, LLC
Primary Firm SEC Registration
AZIMUT GENESIS ADVISORS
CRD#: 134626 / SEC#: 801-64054
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
AZIMUT GENESIS ADVISORS
CRD#: 134626 / SEC#: 801-64054
Contact information
SEC notice filing (2 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 240 |
| AUM (Assets Under Management) | $ 446,978,353 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
